DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Essex National Securities, Inc.

Former SEC-registered adviserNapa, CaliforniaCRD 25454SEC 801-70990IAPD
Latest filing Jul 12, 2012
First filing on the tape Mar 20, 2012 · 51 filings
RAUM
$30.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$30.8M as of Jul 12, 2012
Mar 20, 2012$30.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 12, 2012
Mar 20, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 12, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$263,004derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
117reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • John Michael Cooney · Coo, Chief Compliance Officer, Cfo, Treasurer, Rosfpcontrol
      since 06/2008 · owns less than 5%
    • Scott Kelso Davis · Chairman, Ceo, Presidentcontrol
      since 06/2012 · owns less than 5%
    • Andrew Olen White · Directorcontrol
      since 06/2012 · owns less than 5%
    • Roy Jay Zuckerberg · Ownercontrol
      since 06/2012 · owns 50% to 75% of Samson Essex, LLC
    • Warren Geddes · Senior Vice President
      since 04/2007 · owns less than 5%
    • Ella Sankisov · Financial & Operations Principal
      since 09/2006 · owns less than 5%
    • Robert Harris Watts · Director
      since 11/2006 · owns less than 5%
    • Nils Per Brous · Owner
      since 06/2012 · owns 25% to 50% of Samson Essex, LLC
    Entity owners
    • Essex National Holding Company, LLC · Owner
      direct · owns 75% or more
    • Samson Essex LLC · Owner
      indirect · owns 75% or more of Essex National Holding Company
    Related persons
    Schedule D 7.A
    Advisers that list Essex National Securities, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · true to false
      Jun 27, 2012 to Jun 27, 2012
    • Advisory activities · 4 to 3
      Jun 26, 2012 to Jun 26, 2012
    • Advisory activities · 5 to 4
      May 29, 2012 to Jun 22, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026